Professional Services in the Capital Market Area

Expertise and consultancy for
maximum performance

The capital market industry is a dynamic environment with complex regulations and strict requirements. We offer specialized consultancy and assistance to support players in the field to successfully manage the market challenges. Discover our tailored solutions for investment firms, investment management companies/alternative investment fund managers, securities issuers, shareholders and crowdfunding service providers.

Due diligence and integrated support for compliance and efficiency

For investment firms and credit institutions operating in the capital market, we offer assistance and consultancy in:

Compliance with regulations issued by the Financial Supervisory Authority, regarding the licensing, supervision and control processes
Managing relationships with regulatory authorities, properly fulfilling their duties and obligations by the board members/supervisory boards and directors/executive boards
Optimizing corporate governance procedures for transparent and sustainable management
Efficient conduct of the company's activities according to the applicable legal framework
Identifying the main vulnerabilities and risks that could arise from the activities conducted
Ensuring the entity applies corporate governance provisions, in order to provide a robust and performant framework
Ensuring the compliance of the investment firms with capital market regulations (A.S.F., B.V.B. and Central Depository)
Providing the appropriate framework for conducting complex financial operations from the perspective of applicable national and European regulations
Optimizing the activities conducted by key functions
Assisting the client throughout the duration of an operation

Due diligence for performance maximization. Compliance and strategy

Our services are designed to support Investment Management Companies (S.A.I.) and Alternative Investment Fund Managers (A.F.I.A.) in:

Compliance with obligations of the entity related to licensing, supervision and control activities
Identifying the main vulnerabilities and risks that could arise from the activities carried out as S.A.I./A.F.I.A
Organising internal audit and control mechanisms for efficient risk management
Identifying and managing conflicts of interest to ensure investor protection
Optimizing the corporate governance procedures for transparent and sustainable management
Managing operations conducted by S.A.I./A.F.I.A. in compliance with the applicable legal framework to reduce conduct risks
Restructuring, optimizing, and implementing strategies related to the shares or stocks held within the portfolio
Optimizing the activities conducted by key functions
Complying with capital market regulations (A.S.F., B.V.B., and Central Depository)
Assisting the client throughout the entire duration of the operations

Transparency and compliance for increasing market value

We offer integrated support for issuers and shareholders to ensure compliance with the provisions of Law no. 24/2017 on Issuers of financial instruments, republished, with subsequent amendments and completions, through:

Managing current reporting obligations and organizing General Meetings of Shareholders (GMS)
Protecting shareholders' rights
Conducting public purchase, takeover, and sale offers
Preparing prospectuses for admission to trading and structuring public offers
Assistance in implementing share buyback programs and other strategic operations
Assistance in withdrawing shares from trading and other corporate operations
Improving internal organization and aligning with international corporate governance standards and the B.V.B. Corporate Governance Code
Assisting the client throughout the entire duration of the operations

Risk-free cross-border services. 100% Compliance

For investment firms from EU member states, operating in Romania, we offer:

Assistance in compliance with national and European capital market regulations
Consulting on investor protection
Personalized support for each stage of expansion on the Romanian market
Client assistance throughout the entire duration of the targeted operation

Crowdfunding is a recognized form of alternative financing for start-ups and small and medium-sized enterprises (SMEs), usually based on small investments.

We offer consultancy and assistance in the following activities:

Support for project developers who submit projects for financing.
Assistance for investors who wish to finance projects submitted by developers.
Ensuring the compliance of the due diligence obligation of the provider regarding project developers seeking financing.
Ensuring exhaustiveness and accurate information included in the Key Investment Information Sheet (KIIS).
Ensuring and updating the necessary procedures for conducting activities/optimizing corporate governance procedures for transparent and sustainable management.
Ensuring compliance with the obligation to prevent and properly manage conflicts of interest.
Drafting due diligence reports for the activities carried out, as well as for compliance with the applicable regulatory framework.
Drafting of opinions regarding the registered petitions at entity level.
Assisting the client throughout the duration of the operations.

Effective corporate governance – the key to ensuring the company’s long-term success

We offer integrated support to ensure the company’s operation, according to the principles of corporate governance:

Strengthen the internal organization and aligning it with the international standards of corporate governance and the B.V.B. Code of Corporate Governance.
Advising on the fulfillment of obligations regarding the objectives that companies seek to achieve.
Assessment of issuers' implementation of the provisions of the Corporate Governance Code.
Advising and assisting in the implementation of the principles set out in the new Corporate Governance Code, including but not limited to the "Risk Management and Internal Control Framework", and "Investor Relations".
Improving transparency and increasing shareholder and investor confidence in the capital market.

Consultancy for Intermediaries

Due diligence and integrated support for compliance and efficiency

For investment firms and credit institutions operating in the capital market, we offer assistance and consultancy in:

Compliance with regulations issued by the Financial Supervisory Authority, regarding the licensing, supervision and control processes
Managing relationships with regulatory authorities, properly fulfilling their duties and obligations by the board members/supervisory boards and directors/executive boards
Optimizing corporate governance procedures for transparent and sustainable management
Efficient conduct of the company's activities according to the applicable legal framework
Identifying the main vulnerabilities and risks that could arise from the activities conducted
Ensuring the entity applies corporate governance provisions, in order to provide a robust and performant framework
Ensuring the compliance of the investment firms with capital market regulations (A.S.F., B.V.B. and Central Depository)
Providing the appropriate framework for conducting complex financial operations from the perspective of applicable national and European regulations
Optimizing the activities conducted by key functions
Assisting the client throughout the duration of an operation

Consultancy for Investment Management Companies (S.A.I.) and Alternative Investment Fund Managers (A.F.I.A.)

Due diligence for performance maximization. Compliance and strategy

Our services are designed to support Investment Management Companies (S.A.I.) and Alternative Investment Fund Managers (A.F.I.A.) in:

Compliance with obligations of the entity related to licensing, supervision and control activities
Identifying the main vulnerabilities and risks that could arise from the activities carried out as S.A.I./A.F.I.A
Organising internal audit and control mechanisms for efficient risk management
Identifying and managing conflicts of interest to ensure investor protection
Optimizing the corporate governance procedures for transparent and sustainable management
Managing operations conducted by S.A.I./A.F.I.A. in compliance with the applicable legal framework to reduce conduct risks
Restructuring, optimizing, and implementing strategies related to the shares or stocks held within the portfolio
Optimizing the activities conducted by key functions
Complying with capital market regulations (A.S.F., B.V.B., and Central Depository)
Assisting the client throughout the entire duration of the operations

Consultancy for Securities Issuers and Shareholders

Transparency and compliance for increasing market value

Managing current reporting obligations and organizing General Meetings of Shareholders (GMS)
Protecting shareholders' rights
Conducting public purchase, takeover, and sale offers
Preparing prospectuses for admission to trading and structuring public offers
Assistance in implementing share buyback programs and other strategic operations
Assistance in withdrawing shares from trading and other corporate operations
Improving internal organization and aligning with international corporate governance standards and the B.V.B. Corporate Governance Code
Assisting the client throughout the entire duration of the operations

Support for Branches of International Investment Firms

Risk-free cross-border services. 100% Compliance

For investment firms from EU member states, operating in Romania, we offer:

Assistance in compliance with national and European capital market regulations
Consulting on investor protection
Personalized support for each stage of expansion on the Romanian market
Client assistance throughout the entire duration of the targeted operation

Crowdfunding

Crowdfunding is a recognized form of alternative financing for start-ups and small and medium-sized enterprises (SMEs), usually based on small investments.

We offer consultancy and assistance in the following activities:

Support for project developers who submit projects for financing.
Assistance for investors who wish to finance projects submitted by developers.
Ensuring the compliance of the due diligence obligation of the provider regarding project developers seeking financing.
Ensuring exhaustiveness and accurate information included in the Key Investment Information Sheet (KIIS).
Ensuring and updating the necessary procedures for conducting activities/optimizing corporate governance procedures for transparent and sustainable management.
Ensuring compliance with the obligation to prevent and properly manage conflicts of interest.
Drafting due diligence reports for the activities carried out, as well as for compliance with the applicable regulatory framework.
Drafting of opinions regarding the registered petitions at entity level.
Assisting the client throughout the duration of the operations.

Assistance and consultancy in the field of Corporate Governance

Effective corporate governance – the key to ensuring the company’s long-term success

We offer integrated support to ensure the company’s operation, according to the principles of corporate governance:

Strengthen the internal organization and aligning it with the international standards of corporate governance and the B.V.B. Code of Corporate Governance.
Advising on the fulfillment of obligations regarding the objectives that companies seek to achieve.
Assessment of issuers' implementation of the provisions of the Corporate Governance Code.
Advising and assisting in the implementation of the principles set out in the new Corporate Governance Code, including but not limited to the "Risk Management and Internal Control Framework", and "Investor Relations".
Improving transparency and increasing shareholder and investor confidence in the capital market.

If you are interested in further details about our services, you can contact us at the e-mail address office@actacapital.ro.

We will customize the offer, according to your needs.

To offer a complete package of financial consulting services, our company collaborates with lawyers specialized in the field, so that, regarding the implementation of all the above-mentioned steps, the client can also benefit from quality legal assistance, which will ensure the success of the company.